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JF

Jeffrey D. Farmer

GORDON, HASKETT CAPITAL
New York, NY 10017
Some features on this profile are disabled
CRD#: 4401563
JF

Professional summary

Jeffrey Daniel Farmer, who also goes by Jeffrey D Farmer, is a registered financial professional currently at GORDON, HASKETT CAPITAL CORPORATION located in New York, New York.

Jeffrey is registered as a RR (Registered Representative) and started their career in finance in 2001. Jeffrey has worked at 5 firms and has passed the Series 63, SIE, Series 87 and Series 7 exams.

top-8-questions

Question & Answer

Are you a "fiduciary"?
No

Aliases

Jeffrey D Farmer

Other business activities

Outside business activity is any business or activity undertaken by an advisor that is outside the scope of their relationship with their firm (e.g., consulting services, real estate, freelance work, teaching, etc.). Investors should stay informed about these activities to ensure no conflicts of interest.
The advisor shows no other business activity.

Blog Corner

CRS (Client Relationship Summary) - BD

Click below to view Jeffrey Daniel Farmer's CRS (Customer Relationship Summary).
CRS (Customer Relationship Summary)

Certified licenses

Advisors may have various certifications and credentials from different organizations. AdvisorCheck highlights these seven certifications - AIF®, CFP®, ChFC®, CFA, CLU®, CIMA®, CPWA®
None

Experience

Current

September 12, 2018 - Present

GORDON, HASKETT CAPITAL CORPORATION

Office #1: 441 Lexington Avenue 10th Fl., New York, NY 10017
BD
CRD#: 7976
New York, NY
Past

January 9, 2012 - November 28, 2018

WELLS FARGO SECURITIES, LLC

BD
CRD#: 126292
Boston, MA
Past

January 9, 2008 - December 15, 2011

JEFFERIES LLC

BD
CRD#: 2347
BOSTON, MA
Past

April 16, 2002 - January 14, 2008

CIBC WORLD MARKETS CORP.

BD
CRD#: 630
BOSTON, MA
Past

September 26, 2001 - April 4, 2002

DEUTSCHE BANK SECURITIES INC.

BD
CRD#: 2525
NEW YORK, NY

State Registrations and Notice Filings

Listed states reflect where the advisor is authorized to serve clients under state regulations.

RR
indicates the advisor is registered as a Registered Representative in this state, allowing them to offer securities such as stocks, bonds, and mutual funds through a broker-dealer.

Visual representation of state registrations

RR
New York
(9/12/2018)

Exams

State Security Law Exam
RR
Series 63
Date: 9/27/2001
Uniform Securities Agent State Law Examination
General Industry/Product Exam
RR
SIE
Date: 10/1/2018
Securities Industry Essentials Examination
General Industry/Product Exam
RR
Series 87
Date: 12/14/2004
Research Analyst Exam - Part II Regulations Module
General Industry/Product Exam
RR
Series 7
Date: 9/25/2001
General Securities Representative Examination
SRO Registrations
RR
FINRA
SRO Registrations
RR
NYSE American LLC
SRO Registrations
RR
New York Stock Exchange

Current Firm

GH
GORDON, HASKETT CAPITAL CORPORATION
BRUAN, GORDON INVESTING GROUP, INC. | GORDON, HASKETT INVESTING GROUP, INC. | GORDON, HASKETT CAPITAL CORPORATION | GORDON, HASKETT & CO., INC.

CRD#: 7976 / SEC#: , 8-33944

BD
Broker-Dealer Firm Regulated by FINRA (New York district office)
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Contact information

Main Address
441 Lexington Avenue 10th Fl., New York, NY 10017
Mailing Address
441 Lexington Avenue 10th Fl., New York, NY 10017
Phone number
(914) 329-0370
Established
Delaware since 03/21/1985
Firm type
Corporation
Fiscal year end
March
Firm Size
Small
# of Employees

FINRA licenses (1 States and Territories)

Blank US states mapAlaskaHawaiiAlabamaArkansasArizonaCaliforniaColoradoConnecticutDelawareFloridaGeorgiaIowaIdahoIllinoisIndianaKansasKentuckyLouisianaMassachusettsMarylandMaineMichiganMinnesotaMissouriMississippiMontanaNorth CarolinaNorth DakotaNebraskaNew HampshireNew JerseyNew MexicoNevadaNew YorkOhioOklahomaOregonPennsylvaniaRhode IslandSouth CarolinaSouth DakotaTennesseeTexasUtahVirginiaVermontWisconsinWest VirginiaWyoming

Documents

Customer Relationship Summary (CRS / FINRA)

Direct owners and executive officers

NamePositionCRD#
GORDON, ALLAN SANFORDDIRECTOR AND STOCKHOLDER225635
HASKETT, MICHAEL EDWARDPESIDENT DIRECTOR AND STOCKHOLDER836242
BORTECK, MARK BRUCEGENERAL COUNSEL, CHIEF COMPLIANCE OFFICER1367206
EPSTEIN, ANDREWCONTROLLER, PFO ,INTRODUCING BROKER -DEALER FINOP AND POO6008825

Disclosures

Regulatory Event3

Red Flags

Disclosures can be potential red flags, including customer disputes, regulatory fines, employer terminations, bankruptcies, judgments, liens, or certain criminal activities.

Check for any disclosures as part of your thorough research when choosing an advisor.

Company Information

GORDON, HASKETT CAPITAL CORPORATION

CRD#: 7976New York, NY 10017

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